DL
Dennis P. Lynch
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Matthews, NC 28105
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CRD#: 1464078
DL
Professional summary
Dennis Patrick Lynch, who also goes by Dennis Lynch, is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Matthews, North Carolina.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Dennis has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dennis Lynch
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.) CAROLINA FINANCIAL PARTNERS - ASSOCIATE VP - NON-VARIABLE INSURANCE - MATTHEWS, NC - SINCE 01/2018 - INVESTMENT RELATED 2.) CAROLINA FINANCIAL PARTNERS & ASSOCIATES LLC - CLIENT SERVICES MANAGER - DBA NAME FOR MARKETING PURPOSES ONLY - MATTHEWS, NC - SINCE 01/2022 - INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Patrick Lynch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis Patrick Lynch's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 17, 2016 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 250 N. Trade St Suite 301, Matthews, NC 28105RIA
BD
CRD#: 20804
Matthews, NC
Current
June 7, 2016 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 250 N. Trade St Suite 301, Matthews, NC 28105RIA
BD
CRD#: 20804
Matthews, NC
Past
October 28, 2013 - June 17, 2016
WADDELL & REED
RIA
CRD#: 866
CHARLOTTE, NC
Past
October 24, 2013 - June 17, 2016
WADDELL & REED
BD
CRD#: 866
CHARLOTTE, NC
Past
January 5, 2010 - November 22, 2011
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
LOS ANGELES, CA
Past
January 5, 2010 - November 22, 2011
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 28, 2006 - October 28, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
ENCINO, CA
Past
January 28, 1995 - October 28, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 18, 1994 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
April 20, 1992 - April 28, 1994
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
December 6, 1991 - April 15, 1992
SCHRODER & CO. INC.
BD
CRD#: 6112
NEW YORK, NY
Past
August 6, 1990 - November 14, 1991
LADENBURG THALMANN & CO. INC.
BD
CRD#: 505
NEW YORK, NY
Past
October 27, 1989 - August 10, 1990
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
February 19, 1986 - January 30, 1989
L. F. ROTHSCHILD & CO. INCORPORATED
BD
CRD#: 501
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UP
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
APEX RETIREMENT CONSULTING LLC | YEECORP FINANCIAL | WIRE TO WIRE WEALTH | WENDEL FINANCIAL GROUP | WEALTH AVENUE | VOYAGE PARTNERS FINANCIAL STRATEGIES, LLC | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA | UNITED PLANNERS FINANCIAL SERVICES | UNITED PLANNERS | TRIBUTE FINANCIAL INC. | STEWARDSHIP AMERICA FINANCIAL | SKYE FINANCIAL SERVICES, INC | SKS RETIREMENT SOLUTIONS | RIVERCREST FINANCIAL | RINGENBERG FINANCIAL GROUP | RETIREMENT & MONEY STRATEGIES | PALMER NUNN WEALTH MANAGEMENT | MUNKEBY KRAMER | MARION WEALTH MANAGEMENT GROUP | MABE FINANCIAL GROUP | LONG VIEW FINANCIAL SERVICES, INC. | LEE STOERZINGER, INC. | KILMER & COMPANY | INVESTMENT CENTER | HF CAPITAL GROUP LLC | HEMINGWAY WEALTH MANAGEMENT, LLC | GUIDANT PLANNING, INC | GOTTA RETIREMENT SERVICES, INC. | GER LOFTIN WEALTH ADVISORS, LLC | FULL CIRCLE FINANCIAL | FOOTHILL FINANCIAL GROUP | FIRESKY FINANCIAL INC. | FINANCIAL PLANNING ADVISORS, INC. | CATALYST FINANCIAL STRATEGIES LLC | CAPITAL LEGACY PARTNERS, LLC | BROOKHAVEN WEALTH MANAGEMENT INC. | BERAN FINANCIAL PARTNERS
CRD#: 20804 / SEC#: 801-57198, 8-38485
RIA
Registered Investment Advisory firm - SEC (1/28/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(6/7/2016)
RR
North Carolina(6/7/2016)
IAR
North Carolina(6/17/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UP
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
APEX RETIREMENT CONSULTING LLC | YEECORP FINANCIAL | WIRE TO WIRE WEALTH | WENDEL FINANCIAL GROUP | WEALTH AVENUE | VOYAGE PARTNERS FINANCIAL STRATEGIES, LLC | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA | UNITED PLANNERS FINANCIAL SERVICES | UNITED PLANNERS | TRIBUTE FINANCIAL INC. | STEWARDSHIP AMERICA FINANCIAL | SKYE FINANCIAL SERVICES, INC | SKS RETIREMENT SOLUTIONS | RIVERCREST FINANCIAL | RINGENBERG FINANCIAL GROUP | RETIREMENT & MONEY STRATEGIES | PALMER NUNN WEALTH MANAGEMENT | MUNKEBY KRAMER | MARION WEALTH MANAGEMENT GROUP | MABE FINANCIAL GROUP | LONG VIEW FINANCIAL SERVICES, INC. | LEE STOERZINGER, INC. | KILMER & COMPANY | INVESTMENT CENTER | HF CAPITAL GROUP LLC | HEMINGWAY WEALTH MANAGEMENT, LLC | GUIDANT PLANNING, INC | GOTTA RETIREMENT SERVICES, INC. | GER LOFTIN WEALTH ADVISORS, LLC | FULL CIRCLE FINANCIAL | FOOTHILL FINANCIAL GROUP | FIRESKY FINANCIAL INC. | FINANCIAL PLANNING ADVISORS, INC. | CATALYST FINANCIAL STRATEGIES LLC | CAPITAL LEGACY PARTNERS, LLC | BROOKHAVEN WEALTH MANAGEMENT INC. | BERAN FINANCIAL PARTNERS
CRD#: 20804 / SEC#: 801-57198, 8-38485
RIA
Registered Investment Advisory firm - SEC (1/28/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
7333 E. Doubletree Ranch Road #120, Scottsdale, AZ 85258
Mailing Address
P.o. Box 5750, Scottsdale, AZ 85261-5750
Phone number
(480) 991-0225
Established
Arizona since 08/21/1987
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees
614
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED PLANNERS' GROUP, INC. | GENERAL PARTNER | |
| BAKER, MICHAEL A | PRESIDENT | 4037933 |
| BAKER, MICHAEL A | CHIEF EXECUTIVE OFFICE (CEO) | 4037933 |
| CUFFARI-AGASI, SHEILA JUNE | EXECUTIVE VICE PRESIDENT | 2401020 |
| HAUER, DAVE B | VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER | 4018434 |
| OLIVERIO, KENNETH WILLIAM JR | EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER | 2957427 |
| SHINDEL, CHAD TRAVIS | VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO) | 6232253 |
Regulatory assets under management
| Total Number of Accounts | 41,834 |
| AUM (Assets Under Management) | $ 10,637,349,683 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
CRD#: 20804Matthews, NC 28105TRUST BUT VERIFY
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Contact information
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